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What are Series 7 Exam Requirements? The Financial Industry National Regulatory Authority (FINRA (formerly NASD)) Series 7 exam requirements are similar to the usual requirements of generally the licensing test that one must pass in order to become a stockbroker. In order to take the exam, one must first obtain "sponsorship"/employment from a FINRA or exchange member firm. In addition, one must submit a set of fingerprints and undergo a basic background check. Typically to register with a firm and consequently the exam you have to complete a U-4 application. On this application you must disclose such things as prior work history, criminal background (if any), etc. Series 7 Exam Information The Financial Industry National Regulatory Authority (FINRA (formerly NASD)) Series 7 exam is generally the licensing test that one must pass in order to become a stockbroker. In order to take the exam, one must first obtain "sponsorship"/employment from a FINRA or exchange member firm. In addition, one must submit a set of fingerprints and undergo a basic background check. Typically to register with a firm and consequently the exam you have to complete a U-4 application. On this application you must disclose such things as prior work history, criminal background (if any), etc. 52 Hour Insurance Course in California. There is also a beginning and continuing professional education requirement for insurance licenses. For example, California requires 52 hour insurance course, i.e. 52 hours of prelicense education before qualifying to take the life insurance exam. During the first four years, licensees must take at least 25 CPE hours per year. Thereafter, the CPE requirement is 15 hours annually in a course approved in advance by the California insurance department. CPA Marketing: Selling Your Public Accounting Service to More Business Clients CPA marketing is literally the easiest advertising and marketing process out there. Perhaps, there are more business clients today who need proper accounting and auditing for their firms than the number of available CPAs (Certified Public Accountants). However, CPA marketing needs to first address the needs of the business clients and then inform them that you provide the service they seek. CPA marketing is easy, but it doesn't come without effort on your part. More and more businesses today look for accountants who can take charge of all of the financial management aspects of the business, including bookkeeping, tax returns preparation, and investment and expansion advice. Series 6 Test Information Series 6 Test Overview Exam administration: The Series 6 test is multiple choice and is given on computer Number of questions: 100 questions Passing score required: 70% Pre-requisites: You have to be sponsored by a broker/dealer to schedule to sit for the exam through FINRA (Previously the National Association of Securities Dealers (NASD)) Exam Fee: $75. Exam location: See FINRA site. Exam dates: The Series 6 exam is administered Monday through Friday Common Series 6 Exam Candidate Questions: Who Takes the Series 6 Exam? The Series 6 exam is taken by an individual who wants the ability to sell Mutual Funds in the primary market and variable insurance products (including variable annuities). The Series 6 exam is generally taken by licensed insurance agents whose company is requiring they obtain their Series 6 license to market variable insurance products. Bookkeeper The Bookkeeper at a business firm is responsible for keeping accurate, up-to-date business records for proper cash flow management, balance sheet preparation, and developing expansion and investment plans. A bookkeeper also assists in filing tax returns with updated tax records. Accurate bookkeeping is a legal requirement and should be kept well within the standards that are set by local and federal tax agencies. Businesses may also be asked to present the accounts and records to the authorities. Irregularities can lead to severe punishments such as hefty penalties and even imprisonment of the business owner. Find an Enrolled Agent for the Best Assistance in Tax Preparation An Enrolled Agent (EA) is a tax practitioner who has expertise in tax preparation and is authorized by the U.S. Department of the Treasury to represent taxpayers before the Internal Revenue Service (IRS). Enrolled Agents are authorized to advise and prepare tax returns for individuals, companies, estates, trusts, or any tax paying entity. The IRS authorizes a person to be an EA only after stringent tests and background checks.

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